SEC
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations (such as Regulation Best Interest), enforcement actions and related activities.
What I Learned at Our Compliance Conference, Pt. 2: What SEC Examiners Are Pursuing
By David TittsworthWhat are the SEC's priorities in examining investment advisors? A look at OCIE's priorities, and at what may be the most underreported development in advisor exams.
March 11, 2013
Mary Jo White to Focus on Fiduciary Issue at SECMary Jo White plans to testify before Senate Banking on Tuesday that regulating advisors and BDs is an "important" issue that she intends to focus on as SEC chairwoman.
March 11, 2013
SEC Charges Illinois With Pension Funding FraudThe SEC on Monday charged the state of Illinois with securities fraud for misleading municipal bond investors about the states approach to funding its pension obligations.
March 11, 2013
As Dually Registered Advisors’ Assets Grow, SEC Zeros InJust as the SEC beefs up its oversight of dually registered advisors, new research from Cerulli Associates finds the dually registered channel is one of the fastest growing.
March 07, 2013
SRO Is Key to Boosting Advisor Exams: Former SEC Chief PittThe SEC cant handle examining advisors, Harvey Pitt said at the Investment Adviser Association conference.
March 06, 2013
Mary Jo White hearing set for next weekSenate Banking to also consider nomination of Richard Cordray as CFPB director.
March 06, 2013
Mary Jo White Hearing Set for March 12The Senate Banking Committee will hold a hearing Tuesday to consider the nomination of Mary Jo White as the next SEC chairwoman.
March 04, 2013
SEC Finds Significant Custody ViolationsThe SEC issued Monday a risk alert on compliance with its custody rule for investment advisors as well as an investor bulletin about the rule.